David A. Hausman


All Sessions by David A. Hausman

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Day 1: Jun 17, 2020

Day 2: Jun 18, 2020

1:30 pm

1:30 pm

Compliance Challenges and Solutions for Market Manipulation

Monitoring trading and advisory services is a core responsibility for compliance officers. Although there are good checks and balances in place, it is imperative to improve monitoring. Bolster your best practices with insights into:

  • Combatting insider trading, and suspicious trading practices
  • Determining when, and how, certain investor fraud matters occur
  • Solutions to effectively monitor advisors, and encourage self-monitoring for non-compliance matters

Build a blueprint for overcoming compliance challenges with respect to market manipulation